Assuring Quality: an approach to building long- Ref.: 2012 ... · 3 Assuring Quality: an approach...

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Assuring Quality: an approach to building long-lasting infrastructure in West Africa

September 2012

GWI Technical Series: Hardware Quality

for Sustainable Water & Sanitation

SAHEL CONSULTING

2

Assuring Quality: an approach to building long-lasting infrastructure in West Africa, Doc Ref. 2012-01-E

Table of contents

ABOUT THIS SERIES ............................................................................................................................3

ACKNOWLEDGEMENTS ......................................................................................................................4

ABOUT THE GLOBAL WATER INITIATIVE ..............................................................................................4

INTRODUCTION .................................................................................................................................6

PART 1: STEPS OR ELEMENTS TO FOLLOW BEFORE THE WORK IMPLEMENTATION ...............................7

PROVIDING A CLEAR SCHEDULE OF WORKS DELINEATING HOW THE WORKS SHOULD BE CARRIED OUT ........................... 7

ORGANIZING OF A TOURING OF THE SITES (WHERE THE WORKS SHOULD BE ACCOMPLISHED) BY THE BIDDERS BEFORE

COMPILING THEIR BIDS.................................................................................................................................... 7

CHOOSING A COMPETENT IMPLEMENTING AGENCY ............................................................................................. 7

ESTABLISHMENT OF A FORMAL CONTRACT FOR THE WORK .................................................................................... 8

100% GUARANTEE OF ANY ADVANCE OF FUNDS ................................................................................................. 8

PART 2: STEPS OR ELEMENTS TO FOLLOW DURING THE WORK IMPLEMENTATION ..............................8

ORGANIZING THE WORK WITH A START-UP MEETING ........................................................................................... 8

CHECKING THE CONFORMITY OF SITE STAFF’S SKILLS AND EXPERIENCE, AND COMPANY MATERIAL AGAINST THOSE LISTED

IN THE PROPOSALS ......................................................................................................................................... 9

SETTING OUT OF THE WORK (FACILITIES) IN THE PRESENCE OF THE BENEFICIARIES, THE PROJECT AND OTHER

REPRESENTATIVE WHOSE PRESENCE IS REQUESTED BY THE LEGISLATION IN FORCE IN THE COUNTRY (EXAMPLE: COMMUNE

REPRESENTATIVE OR TECHNICAL SERVICE REPRESENTATIVE, ETC.) ........................................................................... 9

CONTROLLING ON THE WORKS UNDERWAY ON SITE ............................................................................................. 9

SUPERVISING THE TECHNICAL WORKS BY THE PROJECT AND IF NECESSARY BY THE GOVERNMENT TECHNICAL SERVICES ... 10

INVOLVING THE COMMUNITIES IN THE SUPERVISION OF THE WORKS ..................................................................... 10

HOLDING SITE MEETINGS (FOR WORK RUNNING OVER TIME) ............................................................................... 10

PART 3: STEPS OR ELEMENTS TO FOLLOW AT THE END OF THE WORK. .............................................. 10

THE RECEPTION OF THE WORK IN THE PRESENCE OF ALL THE PARTIES .................................................................... 10

APPLYING THE RETENTION MONEY PRINCIPLE ................................................................................................... 11

CONCLUSION ................................................................................................................................... 11

ANNEX: CHECK-LIST FOR THE MONITORING OF THE IMPLEMENTATION OF THE QUALITY ASSURANCE

APPROACH ...................................................................................................................................... 12

BIBLIOGRAPHY ................................................................................................................................. 16

3


About this series

The GWI Technical Series: Hardware Quality for Sustainable Water & Sanitation is a Global Water

Initiative tool that was developed in West Africa by Catholic Relief Services (CRS) and Sahel Consulting as

a response to common difficulties in rural water & sanitation projects.

Each document in the series addresses a particular aspect of technology choice, design, build and

maintenance. All these aspects are important in delivering a reliable and lasting community

water/sanitation resource within an increasingly decentralised context.

We aim to influence those with the power and responsibility to get water and sanitation to the rural

poor.

We also want to influence the communities themselves to become proactive and break away from their

past role as passive beneficiaries.

The tools have been designed and field tested for use with communities, development workers,

commune leaders and government technical services. They focus specifically on gaining an informed

understanding that will lead these key decision makers to choosing the correct technology, supervising

construction to assure quality, putting in place correct operation and maintenance systems, and

assuring that revenue generated is adequate to keep that service going.

These tools are not a method in themselves, they presume that anyone using them is already engaged in

a robust participatory process.

The GWI Technical Series: Hardware Quality for Sustainable Water & Sanitation includes:

A practical guide for building a simple pit latrine ref.: 2011-01-E

Assuring Quality: an approach to building long-lasting

infrastructure in West Africa

ref.: 2012-01-E

Monitoring checklists : water points and latrines ref.: 2012-02-E

Community monitoring of borehole construction: a training

guideline

ref.: 2012-03-E

Contracting for water point construction: Provisional and final

acceptance forms

ref.: 2012-04-E

4


The essential steps before handing-over a borehole (with hand

pump) to the community

ref.: 2012-05-E

Community monitoring during the construction of a gravity-

fed, solar powered water supply: a training guideline

ref.: 2012-06-E

Making the right choice: comparing your rural water

technology options

ref.: 2012-07-E

Please use any of the documents freely. They can be downloaded from

http://www.crsprogramquality.org/publications/tag/water-manualsuser-guides.

We would be most interested to receive feedback from you on the usefulness of this material.

The series is published in French and English. If you translate the material into another language please

send a copy to [email protected], [email protected],

[email protected].

Acknowledgements This document was developed by Lambert Zounogo P. NIKIEMA (CRS), Sue CAVANNA (Sahel Consulting),

and Jean-Philippe DEBUS (CRS), the Hardware Quality team of the Global Water Initiative (GWI) in West

Africa.

GWI project staff from all five GWI countries contributed ideas during the early development stages, and

most importantly tested the material in the field. We are indebted to them.

The generous support and encouragement of the Howard G. Buffett Foundation has made this

publication possible.

Illustrations:

- Y. Parfait BONKOUNGOU, Ouagadougou, Burkina Faso ([email protected]);

- François Xavier COULIBALY, Toussiana, Burkina Faso ([email protected]).

About the Global Water Initiative The Global Water Initiative (GWI), supported by the Howard G. Buffett Foundation addresses the challenge of providing long term access to clean water and sanitation, as well as protecting and managing ecosystem services and watersheds, for the poorest and most vulnerable people dependent on those services. Water provision under GWI takes place in the context of securing the resource base and developing new or improved approaches to water management, and forms part of a larger

http://www.crsprogramquality.org/publications/tag/water-manualsuser-guides

mailto:[email protected]




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framework for addressing poverty, power and inequalities that particularly affect the poorest populations. This means combining a practical focus on water and sanitation delivery with investments targeted at strengthening institutions, raising awareness and developing effective policies.

The Regional GWI consortium for West Africa includes the following partners:

International Union for the Conservation of Nature (IUCN)

Catholic Relief Services (CRS)

CARE International

SOS Sahel (UK)

International Institute for Environment and Development (IIED).

GWI West Africa covers five countries: Burkina Faso, Ghana, Mali, Niger and Senegal. Some activities also take place around the proposed Fomi dam in Guinea. For more information on the GWI, please visit: www.globalwaterinitiative.com.

http://www.globalwaterinitiative.com/

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Introduction

The quality assurance approach that is already partially in use in many countries, aims to serve as a

guideline and to measure our achievement in reaching infrastructure quality. This assumes that both the

design of the works and the technological choice of the equipment to be used have been well carried

out before implementation starts.

This approach is justified as GWI aims to help vulnerable people to have improved and durable access to

water and sanitation. It is necessary to be vigilant during the construction in order to assure the quality

of the facilities. GWI keeps the moral responsibility of the quality of the infrastructures funded by him

even if the contract has been subcontracted to others. In consequence, the GWI project must retain the

responsibility of the technical supervision in order to assure quality service.

The steps below are proposed as elements of the quality approach:

Providing a clear outline on the way the works should be carried out (including a detailed review

of the quality of the materials);

Organizing a touring of the sites (where the works should be accomplished) by the bidders

before compiling their bids ;

Choosing a skilled/reliable contractor;

Establishment of a formal contract for the work;

100% guarantee of any advance of funds;

Organizing a start-up meeting between the contracting agency, the controller and the

implementing agency, where all the technical requirements of the works will be remind to the

implementing agency ( and to the controller) ;

Checking whether staff skills on the sites and the materials proposed in the technical proposal

are in compliance with those agreed in the bidding proposals;

Implantation of the work (facilities) in the presence of the beneficiaries, the project and other

representative whose presence is requested by the legislation in force in the country (example:

commune representative or technical service representative, etc.);

The control of the implementing agency’s work by a competent/skilled person: supervision on

the building site, provisory partial receptions at some key steps while the construction is

underway, etc. ;

Supervising the technical works by the project and if necessary by the government technical

services;

Training and involving the communities in the supervision of the works;

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Holding site meetings (for work running over time)

Receipt of the works in the presence of all the parties ;

The retention of money for guarantee.

The steps presented above can be gathered into three parts: before, during and after the

implementation.

Part 1: Steps or elements to follow before the work

implementation

Providing a clear schedule of works delineating how the works should be

carried out

Before looking for an implementing agency, it is imperative to clearly define the administrative and

technical contours of the works (what are the works and the way they should be carried out?). This will

be done by elaborating the invitation of tenders that will be used to call for competition. The technical

requirements and the plans being fully included in the invitation of tenders help provide the overall

technical elements on the works (type, size, construction method, material to use, quality of the

materials, etc.).The quantitative estimates and the details related to the costs (descriptive estimate)

contribute to a much bigger precision on the way the works should be carried out. If need be it can

called upon a specialized company to provide the technical specifications, the descriptive and

quantitative estimates.

Organizing of a touring of the sites (where the works should be

accomplished) by the bidders before compiling their bids

To help taking account the work implementation zone parameters during the bids elaboration by the

tenders, the work location or zone must be specified in the invitation of tenders and the tenders invited

if necessary for a touring of the site or zone of construction before they can present their bids. It is

convenient that the owner organize the site touring in order to avoid going for this touring individually

with the tenders.

Choosing a competent implementing agency

The commission in charge of selecting the implementing contractor should be able to choose a good

(the best) agency if it takes the appropriate time to thoroughly check the technical references of the

proposals (on site checks and information collected from the contracting agencies). The references

included in the bidding documents are very often inaccurate. The evaluation of the technical proposal

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will focus on: the proposed staff (skills and experience); the experience of the implementing agency in

carrying out similar projects in the past years; and on the material proposed to carry out the works.

At this step it is important to meet other actors (governmental and NGO) to collect reliable information

on the bidding agencies.

The choice of a good contractor should be done thoroughly and is essential to avoid issues which could

impact negatively on the quality of the project itself. It also requires keeping the information easily

accessible for the purposes of selecting a contractor at a future date. This means identifying those who

are performing well, but also more importantly identifying those who should be absolutely avoided in

the future.

In selecting the competent implementing agency, it must be considered upstream the habitual

requirements that the bids must comply with. These requirements must be specified in the invitation of

tenders: administrative requirements documents, bid bond. In addition a performance bond must be

provided by the selected company.

Establishment of a formal contract for the work

Since the contract is the basis of the agreement as regards implementation of the work especially on the

technical aspects, it is necessary to have a contract approved before work begins. It is primordial to use

good contract formats (good models of contract).

100% guarantee of any advance of funds

This disposition guarantees (protects) the project funds.

Any other payment must be done only on the basis of the work really achieved and after provisional

acceptance.

Part 2: Steps or elements to follow during the work

implementation

Organizing the work with a start-up meeting

A technical meeting on the start-up of the works will help to outline the works requirements. It will also

provide an occasion to emphasize/explain the penalty in failing to implement the works as agreed. This

will remind the contractor to stick to the technical specifications requirements in every detail.

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Checking the conformity of site staff’s skills and experience, and company

material against those listed in the proposals

It is important when starting the works to make a technical assessment reception of the equipment,

materials and staff put in the field. Among other this step helps in particular to make sure that the staff

sent to the field is the same identified in the offer. It is the responsibility of the controller to follow,

verify it.

Setting out of the work (facilities) in the presence of the beneficiaries, the

project and other representative whose presence is requested by the

legislation in force in the country (example: commune representative or

technical service representative, etc.)

The community's presence avoids errors concerning the location selected for the facilities that can have

adverse consequences on the use of the facility, its management and its sustainability.

As the implantation includes technical parts (measurement), the results of the implementation works

must be presented to the communities and approved by them (report signed) before the work can be

continued.

It is indicated that supervisors from the community also participate in different partial provisional

acceptance of work.

Controlling on the works underway on site

The works carried out by the contractor should be mandatorily controlled by a skilled and experienced

person. The choice of an independent control should be made also on a competition basis and should

follow the same steps as those for the choice of the contractor for the works. The purpose of the control

is to make sure that the implementing company thoroughly complies with the technical requirements as

stated in the contract.

The activity of the controlling body should include partial provisional acceptance as the works progress.

Before making reinforced concrete, for example, it should conducted an inspection of the steel

framework and the aggregate that will be used, before allowing the company to make the concrete.

There should mandatorily be a reception of the pumps to install (checking of the quality of the parts and

their conformity) before they could be installed. We should proceed with a reception of the works

already carried out before pursuing with the works, etc.

The different steps requiring partial provisional acceptance of work before pursuing with the works

should be listed and clearly stated.

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Minutes of each delivery will be made specifying the nature of the work approved. No structure or

portion of a work shall be approved with defects contradicting the technical requirements.

Supervising the technical works by the project and if necessary by the

government technical services

The project must supervise the works carried out. That should help to raise the control vigilance level

and the professional awareness of the company or to catch up with some situations.

Involving the State’s technical services competent in the areas of current work may have the advantage

of ensuring compliance with standards if it is not already included in the technical requirements set in

the invitation of tenders.

Involving the communities in the supervision of the works

Involving the beneficiary communities in the supervision activities will help achieve a greater ownership

of the infrastructures and make sure that the contractor is serious in his construction role. To achieve

that objective, the community people who have been officially chosen for this activity should be trained

and sensitized: they should be explained the way the works are carried out (examples: number of blocks

to obtain with a bag of cement, quality of sand and gravel to use, etc.) and its importance on the

sustainability of the facility. A good training through the use of explicit pictures should be enough.

Posters should also be put in place to inform future users on the level of services expected and the

technical features.

Holding site meetings (for work running over time)

During the execution of the work site meetings are required. Because they allow the different actors

(project, technical service, client, community, design office, company) to discuss about the difficulties

encountered during the implementation and to make proposals for solutions.

These meetings also allow detecting technical problems early.

Part 3: Steps or elements to follow at the end of the work.

The reception of the work in the presence of all the parties

The provisional acceptance of work and the definitive reception must be done in the presence of all the

stakeholders including the communities.

11


No work will be received with defects contradicting the technical requirements and preventing its

normal operation. All needed repairs must be completed before definitive acceptance/ final payment for

each newly built infrastructure.

The how and the why of the different tests (if any has to) during the reception must be clearly explained

to the communities.

During the provisional acceptance process, the principle of the warranty period should be clearly

understood by beneficiaries and mechanisms for appeal to the company for corrections in case of

equipment malfunction during this period must be well defined and brought to their attention.

Applying the retention money principle

The retention money principle to be applied at the temporary reception step allows managing a given

amount of money to use for the correction of mistakes or imperfections identified during the retention

period.

It is recommended to retain a period long enough to enable to see the occurrence of any defects that

may exist. The amount of the retention money for guarantee varies between countries (5-10%).

It is strongly recommended to make sure to have a good work instead of looking for reparations that are

often difficult to carry out.

Conclusion

The quality assurance approach presented below reminds the main disposition to undertake in order to

ensure effective implementation of the infrastructures. The steps listed are not exhaustive and can be

improved. The important thing is to effectively implement these steps. The checklist in appendix helps

to monitor this implementation.

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Annex: Check-list for the monitoring of the implementation of

the quality assurance approach

Provide a clear schedule of works delineating how the works should be carried out

Steps / precaution Yes No Observation

Is the nature of the work clearly defined?

Are the technical requirements clearly defined?

Are there plans for each part of the work?

Is there a descriptive estimate of the work?

Are there BoQ’s of the work?

Organize or facilitate a touring of the sites (where the works should be accomplished) by the bidders before compiling their bids


The work location/zone is specified to those tendering

A tour of the site/zone of the work is organized or facilitated.

Choosing a competent implementing agency


A tendering process is organized to choose the implementing agency

The technical references (experiences) of each tender are checked with the different owners of the works they have previously carried out.

Reliable information on the agencies that are presenting bids has been obtained from other actors (governmental and NGO)

A list of “good” and “bad” implementing agencies is regularly kept/updated

Is a bid bond required from tenders?

Is a performance bond required from the selected company?

13


Establish a formal contract for the work


Is a clear contract approved before the work begins?

Is this contract in compliance with national standards?

Require a 100% guarantee of any advance of funds


Is any advanced funds (if it is foreseen) 100% guaranteed?

Organize the work with a start-up meeting


Is a technical meeting organized on start of the works?

The work requirements have been outlined during this meeting

Check the conformity of site staff skills & experience, and company material against those listed in the bid


The technical assessment acceptance of the equipment has been made

The assessment of the staff placed in the field has been made to make sure that the staff sent to the field is of the calibre identified in the bid

The quality of the materials has been checked before their use

The setting out of the facilities is done in the presence of the beneficiaries, the project and the other representatives whose presence is required by the national legislation in force (example: commune representative or technical service representative, etc.)


Is the community represented and consulted during the work/facility setting out?

Is a setting out report elaborated?

Has the setting out of the facilities been approved by the community representative and the setting out report signed?

14


Control of site-works underway


The works carried out by the contractor are controlled by a skilled and experienced person / structure

The controller (a person or a structure) have been selected in accordance with the rules (after a bidding process)

A list of the partial provisional acceptances to be conducted has been drafted (and attached to the invitation of tenders).

The community representatives participate in the partial provisional acceptance of each part of the works.

An official record is produced for each partial provisional acceptance.

Supervision (by the project and if necessary the government technical services) of the works


Is the project supervising the work?

A supervising check list is prepared before making a supervisory visit.

Is supervision by government services foreseen and organized?

Involve the communities in the supervision of the works.


The beneficiary community representatives are involved in the work supervision.

The beneficiary community representatives have been trained to supervise the work

The community is informed of the exact nature of the work to be carried out (type of facility, quantities, location, etc.)

Public information (postings) is made to provide information on the exact nature of the work and the changes occurred in the course of the implementation.

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Hold periodic site meetings (for work running over time)


Site meetings are organized during the work implementation

The community representatives are part of the site meetings

The technical services are invited to participate to site meetings

During the site meetings technical visits of all the works are conducted.

Organize the reception of the work in the presence of all stakeholders


The community representatives and the government technical services participate to the provisional acceptance of the work.

The works provisionally accepted are without defects which contradict the technical requirements and/or prevent their normal operation

The how and the why of the different tests (if any) during the provisional acceptance have been clearly explained to the communities.

The principle of the warranty period has been clearly explained to the beneficiary community.

The details (phone number and physical address of the contractor and of the project) are given to the communities to allow them to call for help if the equipment installed does not working well.

Apply the retention money principle


A retention bond is applied

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BIBLIOGRAPHY - OXFAM, TBN20 – Introduction to Contracting Out Works (version 7), 21/04/09.

- Jean – Pierre ESSONE NKOGHE, Cours d’ingénierie des marchés publics, Règlementation

générale des achats publics au Burkina Faso, Groupe des Ecoles EIER-ETSHER, Février 2006.

The GWI Technical Series: Hardware Quality for Sustainable Water & Sanitation:

These documents are also available in French.

The main authors are Lambert Zounogo P. Nikiema (CRS), Sue Cavanna (Sahel

Consulting) and Jean-Philippe Debus (CRS).

A practical guide for

building a simple pit

latrine.

ref.: 2011-01-E

Contracting for water

point construction:

Provisional and final

acceptance forms.

ref.: 2012-04-E

AAssssuurriinngg QQuuaalliittyy:: aann

aapppprrooaacchh ttoo bbuuiillddiinngg

lloonngg--llaassttiinngg

iinnffrraassttrruuccttuurree iinn WWeesstt

AAffrriiccaa..

rreeff..:: 22001122--0011--EE

The essential steps

before handing-over a

borehole (with hand

pump) to the

community.

ref.: 2012-05-E

Monitoring checklists:

water points and

latrines.

ref.: 2012-02-E

Community monitoring

during the construction

of a gravity-fed, solar

powered water supply:

a training guideline.

ref.: 2012-06-E

Community monitoring

of borehole

construction: a training

guideline.

ref.: 2012-03-E

Making the right

choice: comparing your

rural water technology

options.

ref.: 2012-07-E

Assuring Quality: an approach to building long- Ref.: 2012 ... · 3 Assuring Quality: an approach...

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Transcript of Assuring Quality: an approach to building long- Ref.: 2012 ... · 3 Assuring Quality: an approach...